Regulatory Reporting, Operations recruitment
Responsible for FOCUS reporting and 15c3-3 reporting as it relates to the Operations department. Staff will be required to liaise with various departments within the organization on presenting the case for system enhancements and new processes. Staff will also work on training, awareness, and communications on regulatory requirements for Operations. Responsibilities also include working with third parties on regulatory exams.
Minimum Requirements
Bachelor's degree required
3 - 7 years experience in Regulatory role
Strong knowledge of FOCUS Reporting
Strong knowledge of 15c3-3
Proficiency with Microsoft Office applications required.
Knowledge of financial industry Regulations
The candidate must be detailed oriented.
The candidate must be a self starter with strong organizational and communication skills.
The candidate must possess strong problem solving skills.